Checklists

Every document type carries its own checklist, an ordered list of plain-text items that reviewers must complete before submitting a decision. The platform ships six default document types (Suitability Report, KYC Document, Investment Recommendation, Fact Find, Risk Assessment, and Other) with sensible checklists; firms can customise the items on any type and create entirely new document types through the API.

Why it is not just UI

A checklist on a screen is only as good as the reviewer's diligence. By making the checklist a hard gate at the API level, the platform turns it from a guideline into a precondition. The decision endpoint returns 422 CHECKLIST_INCOMPLETE if any item is incomplete.

Document type structure

Each document type is a DocumentType record with the following fields:

• slug, a unique identifier per firm (e.g. SUITABILITY_REPORT)
• name, a human-readable label (e.g. “Suitability Report”)
• checklistItems, an ordered string[] of short, verifiable requirements

API endpoints

Firm endpoints

• GET /v1/firm/me/document-types, list all document types with their checklists
• POST /v1/firm/me/document-types, create a custom document type (body: { "slug": "...", "name": "...", "checklistItems": ["..."] })
• PATCH /v1/firm/me/document-types/:slug, update the name and/or checklist items

Reviewer endpoint

• GET /v1/reviewer/checklists/:documentType, fetch the document type and its checklist by slug (used by the review workspace before submitting a decision)

Evidence produced

• Checklist completion state recorded with the review decision
• Full checklist state embedded in the certificate

FCA mapping

• COBS 9.2, Suitability assessment
• SYSC 6.1, Compliance arrangements

See also

• Review
• Explainability